July 07, 2016

SEC Proposes New Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans

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A rule proposed by the US Securities and Exchange Commission under the Investment Advisers Act of 1940 would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans and review them at least annually. While nearly all firms already maintain business continuity plans, the proposal suggests baseline requirements that the SEC would expect for such plans. And the proposal’s requirement that the plans address “transition” – meaning sale or dissolution – of the investment adviser’s business is entirely new. In a companion release, the SEC also issued guidance to registered investment companies regarding components of their business continuity plans.

View full memo, SEC Proposes New Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans and Issues Guidance on Business Continuity Plans for Registered Investment Companies

Authors and Contributors

Azam Aziz

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Donna Parisi

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Geoffrey Goldman

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John Adams

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Lorna Xin Chen 陈 新

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John (Sean) Finley

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Paul Schreiber

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Thomas Majewski

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